Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Pasqua Pellecchia, Claimant vs. Dean Witter Reynolds Inc., Respondent. Case Number: 98-02479 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Pasqua Pellecchia, hereinafter referred to as "Claimant": Seth E. Lipner, Esq., Deutach & Lipner, San Francisco, California Respondent, Dean Witter Reynolds Inc. ("Dean Witter"), hereinafter referred to as "Respond

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Howard A. Gutzmer and Dorene Gutzmer COTTEES of the Gutzmer Family Trust v. Name of Respondents Bear Stearns & Co., Inc. and Paul Fragakis Arbitration No. 98-02477 REPRESENTATION For Claimants: For Respondents: Steven M. Green, Esq. Law Offices of Steven M. Green San Diego, California Stephen Young, Esq. and Richard W. Smirl, Es

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: FFP Securities, Inc., Claimant vs. Raymond S. Sulka, Respondent. Case Number: 98-02476 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Claimant, FFP Securities, Inc. fFFP") was initially represented by Michael C. Seamands, Esq. of Kodner, Watkins, Muchnick & Dunne, L.C., St. Louis, Missouri. At the close of this case, FFP was not represented by counsel. The

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Victor H. Ayala 98-02474 Names of Respondents GKN Securities Corporation Irvin Rosenfeld REPRESENTATION For Claimant; Darren C, Blum, Esq. of Philip J. Feldman & Associates, P.A., North Miami, 1 FL, For Respondents GKN Securities Corporation ("GKN") and Irvin Rosenfeld ("Rosenfeld"); Katherine Nathan, Esq. of GKN Securities Corporation, New York

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Roger L. Ledford 98-02473 Names of Respondents Salvador Tacher Steven Harry Vornea Marc Alan Luxenberg Denny P. Darmodihardjo Elias Tacher Adam Levy REPRESENTATION For Claimant: Edward H. Saunders, Of Counsel, Page & Bacek, LLP, Atlanta, Georgia until his withdrawal on August 24, 1998. Thereafter, Claimant appeared pro se. For Respondent

AWARD NASD Regulation, Inc. CASE: 98-02464 Maria Medrano, claimant vs. Fidelity Brokerage Services, Inc. d/b/a Fidelity Investments , respondent. ATTORNEYS: For claimant appeared William T. LaValle, Esq., - Patchogue, NY. For respondent appeared Lisa C. Cohen, Esq., - New York, NY, DATE FILED: 7/9/98 CASE SUMMARY: Claimant alleged account negligence; lost, illegally removed and/or stolen six-month certificate of deposit. Respondent filed a count

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Allen Lewis Hayes and Rosalind Hayes v. Ameritrade, Inc., and Advanced Clearing, Inc. Case Number: 00-03122 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimant, Allen Lewis Hayes a/k/a Lewis Hayes and Roslind Hayes, hereinafter collectively referred to as "Claimants": Anthony V. Trogan, Esq., West Bloomfield, Michigan. Respondents, Ameritrade, Inc. ("Amer

AWARD NASD Regulation, Inc. CASE: 98-02461 Robert Davis Knowlton, claimant vs. Salomon Smith Barney, Inc. and Michael Devooght, respondents. ATTORNEYS: Claimant appeared Pro Se., Denver, Colorado. For Respondents appeared Ann Parry, Esq., in-house counsel, Salomon Smi± Barney, Inc., New York, New York. DATE FILED: 7/9/98 CASE SUMMARY: Claimant alleged negligence and incompetence by the Respondent in the handling of an American Dollar Index l

AWARD NASD Regulation, Inc. CASE: 98-02453 Nancy Krukowski, claimant vs. First Albany Corporation and Ronal Rocco, respondents. ATTORNEYS: For Claimant appeared J. Alexander Davidson, Esq., of the firm, Carroll, Carroll, Davidson & Young, P.C. - Syracuse, NY. For Respondents appeared Brian F. Mumford, Esq., of the firm Harvey and Harvey, Harvey & Mumford - Albany, NY. DATE FILED: July 8, 1998 CASE SUMMARY: Claimant alleged respondents negligentl

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Chester Winebright, Claimant v. Monroe Parker Securities, Daniel Gillen, Louis DiFruscio, and Jeffrey Garnett, Respondents. Case Number: 98-02452 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Eileen Spadoni, Esq. Gauntlett & Associates Irvine, California CASE INFORMATION Statement of Claim filed: Claimant's Uniform Submission Agr